. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the

hereunder as evidence. Signature: ...................................................... Signature: .................................................. (…………………………………………….) (…..…………………………………….) Authorized

.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be

authorized access to the draft financial statements in the EY information system and the inside information given to him by Jeeraporn, who was assistant auditor holding the senior manager position of another

: .................................................. (…………………………………………….) (…..…………………………………….) Authorized person Authorized person Date: ......................................... Date: ....................................... Signature: ...................................................... Signature

Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

Mr. Sonthaya Noicharoen Mr. Sonthaya Noicharoen aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr

M.L. Chaipat Chayangkura M.L.Chaipat Chayangkura aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr